Compliance Advisory Partner – Manager – Private Side
The Capital Markets teams cover: Corporate and FI DCM; Bond Syndicate; Asset-Backed Securities; Risk Management Solutions (hedging via long-dated derivatives and balance sheet optimisation); Syndicated Lending (including Project Finance and Acquisition Finance).
As part of the Wholesale Specialist Compliance function the Private Side Advisory Compliance team are an integral link to the other Compliance teams to ensure that regulatory risks within the teams operating on the private-side of the Chinese Wall are understood, monitored and appropriate risk mitigation strategies developed.
CORE RESPONSIBILITIES
- Establish strong relationships with relevant Capital Markets teams and assist in driving forward compliance culture within the organisation, at all times ensuring the business owns compliance risk.
- Support Senior Management in managing the business area to ensure that all business undertaken meets regulatory requirements and that the Business’s responsibilities are correctly discharged.
- Provide advice, guidance, direction and interpretation as regards compliance issues across the designated areas of the business where possible and facilitate the gathering of expert advice to inform the business in non-specialist areas.
- Transaction Review (CTR) and New Product Approval (NPA) meetings as applicable, including assessing the implications arising from the development of new products.
- Where appropriate assist in defining and implementing compliance procedures for new products/services, assessing inherent risks before implementation, and providing advice and guidance in order that issues may be considered and resolved.
- Review recommendations for improvements to processes, practices and procedures ensuring all changes are effectively planned, communicated and implemented with the minimum of disruption and that changes are understood by all affected parties.
- Work with other compliance teams to ensure appropriate regulatory requirements are understood, communicated and controls/remediation strategies implemented.
CORE SKILLS
- Core skills and experience includes specialist regulatory knowledge (key).
- Oral communication, analytical skills, change management and organisational awareness (key).
- Excellent overall compliance knowledge.
- Existing advisory experience, and product knowledge (drawn from bond issuance, securitisation, syndicated lending, and long-dated derivatives hedging).
To learn more about this excellent opportunity please email your CV to mandates@obtainconsulting.com
We welcome tentative applications and speculative enquiries. For market updates or to learn more about the mandates Obtain Consulting Group are currently instructed on, get in touch with our senior consultants on +44 203 290 1767.
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